Regulatory Form Amendments

NCCI assists in the preparation and filing of various amendments.

The SEC, FINRA and state jurisdictions require you to keep documents related to your securities business (e.g. Form BD, U-4, U-5 and related Disclosure Reporting Pages, the FINRA Contact System, etc.) accurate and current at all times.

These forms are affected by changes in:

Address

Telephone numbers

Executive representative

Ownership

Officers

Supervisors

Board of directors

Clearing firms

Service bureaus

Products handled by the firms

Business expansions or contraction

Outside employment

Bankruptcy

Regulatory actions

State administrative actions

Civil actions

Customer complaints

Arbitrations

Current, complete and accurate forms are an absolute NECESSITY when applying for registrations in additional states, or in discussions with clearing firms, and during on-site evaluations by regulatory authorities.

NCCI can assist in these activities by verifying the completion and compliance of the respective form itself — comparing the current corporate information to the information regulators have — and can assist in completing any necessary amendments to ensure the accuracy of the forms and timely revisions.